Under what conditions may a Local Agency utilize

Under what conditions may a Local Agency utilize
In-house forces to provide Construction Engineering and
Inspection (CEI) services on LAP projects?
Purpose: To clarify the policy for Local Agencies utilizing In-house local forces for the purpose of
providing CEI functions (i.e. Inspection, Verification Testing, etc.) and to clarify the differences in
requirements for On-System and Off-System projects.
Details: On-System projects: Local Agencies may utilize In-house forces to accomplish CEI functions on
on-system projects with prior approval of the Local Agency Program (LAP) Administrator and appropriate
functional area experts. The LAP Administrator will coordinate with the appropriate functional area experts
(i.e. District Construction Engineer, District Materials and Research Engineer, etc.) for approval prior to
issuing such approval to the Local Agency. Those Local Agencies desiring to utilize In-house forces to
accomplish CEI functions on on-system projects shall develop and submit a Quality Assurance (QA) Plan.
The QA Plan must identify, at a minimum, the Materials Testing & Sampling requirements, Laboratory
Qualifications, Field and Laboratory Test Result Tracking (data entry), Personnel Qualifications, Personnel
Experience, and Contractor Evaluation. The QA Plan may address other items as deemed appropriate for
the type of work being performed.
In addition to providing the information above, the following specific requirements would need to be
addressed by the QA Plan for on-system projects:

Provide a list of employees along with experience and qualifications proposed to perform CEI
services. This would require appropriate levels and numbers of Professional Engineering staff with
construction management experience to perform the role of Senior Project Engineers and Project
Administrators. Additionally, experienced, qualified staff would be required in appropriate numbers
for the project inspection efforts and for contract compliance monitoring. Project staffing level
guidance may be obtained from the State Construction Office website at:
http://www.dot.state.fl.us/Construction/DesignBuild/ConsultantCEI/ProjectStaffingHistory.xls
CEI employee experience and qualification guidance may be obtained from the State Construction
Office website at:
http://www.dot.state.fl.us/Construction/DesignBuild/ConsultantCEI/CEI_ScopeOfServices.doc

Outline the Local Agency’s plan to assess the performance of staff assigned to the project. This
plan would need to specifically identify how the Local Agency ensures: that the contractors have
performed the proper sampling and testing and entered results; that staff have taken required
sampling and testing and entered results; that staff have kept up with the progress payments to
the contractor; that staff have documented as-built drawings and quantities to be used for final
estimates to the contractor; that staff have regularly monitored the contractor’s compliance with
Equal Employment Opportunity (EEO) requirements; that staff have monitored contractor’s wage
rates for compliance with wage tables provided by the US Department of Labor; that staff have
ensured the project complies with Buy America provisions; and that staff have monitored the
subletting arrangements between the prime contractor and its subcontractors. Specific EEO and
contract compliance requirements are found in the FDOT Contract Compliance Workbook at:
http://www.dot.state.fl.us/equalopportunityoffice/ContractComplianceWorkbook.shtm

Outline the Local Agency’s plan for: addressing claims analysis for any/all claims submitted by a
contractor; preparing defense of the claims as CEI for the project; participating in Disputes Review
Boards or other dispute resolution processes; participating in litigation in the event of lawsuits; and
analyzing issues that may be deemed to be the liability of the Local Agency for damages to the
Department.
Contributors: Cheri Sylvester and Jerald Marks, LAP Project Review Section
Edits: Jim Wolfe
Page 1 of 2
Date: 04/04/2013
Revised 01/24/2014
Under what conditions may a Local Agency utilize
In-house forces to provide Construction Engineering and
Inspection (CEI) services on LAP projects?

Outline the Local Agency’s plan for addressing responsibility for any CEI errors made during the
administration of these projects.
Off-System projects: Staffing and qualifications required for off-system projects differ from the
requirements for on-system projects.
Qualifications of staff:
 For staffing off-system projects, it is not necessary for the staff to hold CTQP qualifications as long
as the personnel have demonstrated competence through training and experience appropriate for
the specific project.
 Typical staffing levels for Local Agency projects should be based on the complexity of each
project.
 FDOT will review the agency’s staffing plan when LAP certification for CEI is being considered.
For agencies with limited Federal Aid CEI experience, the certification may include conditions
regarding additional oversight by FDOT, but generally, FDOT approval of CEI staffing will not be
required on a project by project basis.
 If a Local Agency has in the past performed CEI duties on LAP projects, such agencies shall be
allowed to continue to perform such duties. It is understood that if an agency has completed CEI
duties in the past, such certification has been already accepted by FDOT.
Requirements for record keeping:
 The local agency will maintain all required records including test results in the agency’s record
system, and this will be available for inspection and review by the FDOT and FHWA as needed.
Requirements for contract administration
 Issues like claims disputes, supplemental agreements, cost overruns, etc. will be handled by the
local agencies. All project cost overruns must be evaluated by the local agency for federal aid
eligibility in accordance with CPAM section 7.3.11 and approved by FDOT.

This agency process should be reviewed as part of the certification process, and any
extraordinary requirements should be handled as a condition of LAP certification or as a
requirement in the LAP contract for a particular project.
References: 23CFR637.207, 23CFR637.209, Local Agency Program Manual Chapter 23, FDOT Material
Manual Section 5.2.
Exceptions: Local Agencies would be required to contract with FDOT Pre-qualified Consultants for the
following projects:
 On-System Projects $10 million or greater

Off-System Critical Projects and projects $10 million or greater
Contributors: Cheri Sylvester and Jerald Marks, LAP Project Review Section
Edits: Jim Wolfe
Page 2 of 2
Date: 04/04/2013
Revised 01/24/2014